Homepage - Trade Surveillance Deep Dive 2026

Join the Trade Surveillance Deep Dive & Annual Report

Trade surveillance has moved beyond proving coverage to proving effectiveness, as firms navigate intensifying regulatory scrutiny, the rapid evolution of AI, and the growing complexity of the modern trading environment. This Deep Dive will explore what genuine surveillance impact looks like in 2026, bringing together senior practitioners for live AI case studies, high-level debates, interactive roundtables and regulatory keynotes exploring the expectations shaping the function today.

Register

Agenda

What to Expect

Understand what regulators now expect firms to evidence to prove genuine surveillance effectiveness, beyond simply demonstrating coverage
Explore how leading firms are evolving the Market Abuse Risk Assessment (MARA) from a static exercise into a dynamic, front-office-owned process
Learn how firms are detecting manipulation that hides across products, venues and jurisdictions
Hear live, practitioner-led case studies on where AI is delivering genuine impact in trade surveillance today
Gain a practical view on scaling AI safely, from data lineage and human-in-the-loop design to regulatory explainability
Participate in focused roundtable discussions on topics including trader behavioural profiling, OTC and cross-listed product coverage, and prediction markets
Benchmark trade surveillance capabilities against peers from leading global institutions
Hear directly from industry regulators on current supervisory expectations

Debates

Sessions where four or five Managing Director-level practitioners discuss and debate a particular topic or issue. Panel debates are a great way to explore complex topics and get multiple perspectives on a subject.

Proving Trade Surveillance Effectiveness in a Modern Environment
Hiding in Plain Sight: Unmasking Cross-Product Market Abuse
Scaling AI Across Trade Without Losing Control of It

Roundtable Discussions

Private, off the record roundtables are moderated by leading practitioners in the field of culture and conduct and are designed to promote dialogue and collaboration among the attendees.

Debate: Individual Trader Behavioural Profiling - Wrong or Right?
Client coverage: Surveillance for OTC and Cross-Listed Products
Managing the Unregulated Gray Area of Prediction Markets

TRADE SURVEILLANCE DEEP DIVE 2025: ANNUAL REPORT

Surveillance functions struggle to keep up with fast evolving markets, technology changes, and complex infrastructure, which make data tracking and regulatory compliance more difficult.

Read the full Report

Who Should Attend

Managing Directors, Directors, and Head of Functions from Banks, Asset Managers and other Financial Institutions working within:

Surveillance / Compliance Surveillance / Compliance / Regulatory Compliance / Surveillance Monitoring / Compliance Technology / Market Surveillance / Communications Surveillance / Trade Surveillance / Internal Audit

Networking

Deep Dives offer virtual interaction through an intra-delegate messaging system, opportunities to pose questions to speakers in real time, and interactive roundtable discussions.

Chatham House Rule applies, creating a safe environment for a free discussion and no press attend.

Annual Report

Deep Dives are 1LoD's annual update on a non-financial risk function or topic. Content is presented in a 6- or 8-page report which summarises 4 hours of debate between 16 practitioners at Managing Director level who are leaders for their functions, often joined by the relevant regulators

Roundtables

Private, off the record roundtables are moderated by 1LoD, and attended by delegates from financial institutions who have booked their place in advance. They take place on Zoom. Delegates are sent discussion topics, and an overall structure of the debate in advance to assist the flow of the discussion.